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Alaska Administrative Code (Last Updated: January 12, 2017) |
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Title 3. Commerce, Community, and Economic Development. |
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Part 3.1. Banking, Securities, Small Loans and Corporations. |
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Chapter 3.08. Securities. |
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Article 3.08.1. Registration, Notice, and Regulation of Broker-Dealers, Agents, State Investment Advisers, and Federal Covered Advisers, and Investment Adviser Representatives. |
Section 3.08.017. Central registration depository system.
Latest version.
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(a) Notwithstanding any contrary provision of 3 AAC 08.005 - 3 AAC 08.070, if the administrator approves a central registration depository system for filing notices or applications for registrations under this chapter, a person shall file a notice or an application under this chapter with the system. The person must meet other requirements of the system, including the payment of applicable fees set out in 3 AAC 08.015. If a notice or an application is filed with the system in accordance with this chapter, the administrator will consider the application as filed when the administrator receives notice from the system of the person's filing of a notice or an application demonstrating the person's intent to give notice or register. (b) The administrator will, in the administrator's discretion, waive any procedural requirements specified in this chapter if the administrator determines that the waiver is (1) necessary to facilitate the operations of the central registration depository system; (2) consistent with AS 45.55 and its purposes; and (3) in the public interest.
Authorities
45.55.040;45.55.050;45.55.950